DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

K•• H•••• S•••••

U••• B•••••• A•••••••• L••BD affiliatedPlymouth, Mndual registrantIAPD 2196842

Feed of 09/14/2026

At current firm

0 y

since Jun 3, 2026

In the industry

21 y

since Mar 17, 2005 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

U••• B•••••• A•••••••• L•• BD affiliated current
since Jun 3, 2026 · Plymouth, Mn
W•••• F•••• A••••••• wirehouse
Jan 20, 2023 to May 25, 2026 · Wayzata, Mn
U••• B•••••• I••••••••• I••• former
Feb 21, 2019 to Jan 26, 2023 · Edina, Mn
U•• F•••••••• S••••••• I••• wirehouse
Feb 3, 2014 to Feb 25, 2019 · Minneapolis, Mn

Moves

a registration end followed by a registration begin elsewhere

W•••• F•••• A••••••• to U••• B•••••• A•••••••• L••
left May 25, 2026, registered Jun 3, 2026 (9 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
U••• B•••••• I••••••••• I••• to W•••• F•••• A•••••••
left Jan 26, 2023, registered Jan 20, 2023 (-6 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
U•• F•••••••• S••••••• I••• to U••• B•••••• I••••••••• I•••
left Feb 25, 2019, registered Feb 21, 2019 (-4 days) · Wirehouse to affiliated broker-dealer or bank

Signals

K•• H•••• S••••• left W•••• F•••• A••••••• for U••• B•••••• A•••••••• L•• (registered 2026-06-03)
May 25, 2026 · Advisor changed firm · fact
K•• H•••• S••••• left U••• B•••••• I••••••••• I••• for W•••• F•••• A••••••• (registered 2023-01-20)
Jan 26, 2023 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Broker-dealer affiliated wealth managerderived
Years in industry: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address